Auditing Financial Institutions - MIS Training

Audit & Compliance Under Basel II Briefing Day
Monday 14th May 2007
Auditing Financial Institutions Conference
Tuesday 15th & Wednesday 16th May 2007
REGISTER NOW AT
www.mistieurope.com/bankaudit
Auditing Financial
Institutions
Conference 2007
14th - 16th May 2007
Hilton Docklands, London
Listen & Learn from the Experts including:
Andy Dunn, Chief Auditor - Group Functions & Treasury, Alliance & Leicester
Ben Amado, Program Director of Audit & Risk Review (ARR), Citigroup
Christopher Spackman, Head of Audit 3rd Parties, Barclays Internal Audit
Clive Novis, Head of IT Audit, Investec Plc
Graham J. Ayre, Head of UK Internal Audit, Lincoln Financial Group
Hesham M. Hamdy, General Manager, Head of Risk Management Sector, Bank of Alexandria SANPAOLO
Hilde Øiseth Nordlid, Chief Auditor for Operational Audits, Norges Bank
Iain Coke, Head of the Financial Services Faculty, ICAEW
Ian Gregory, Deputy General Manager & Head of Internal Audit, Sumitomo Mitsui Banking Corporation Europe
Iraj Amiri, Head of Group Internal Audit, Schroders
John Crookes, Operational Risk & Compliance Manager, Domestic & International Payments, Bank of New Zealand
Luc Aerts, Program Manager, Internal Audit, KBC
Neil Lockhart, Head of Audit Wealth Management & Financial Products, SEB
Paul Brennan, Internal Audit Manager, Anglo Irish Bank
Paul Moxey, Head of Corporate Governance & Risk Management, ACCA
Sonja Lohse, Head of Group Compliance, Nordea Bank
Tony Kemp, Head of Compliance and Internal Audit, CCLA Investment Management
Urs Fischer, Vice President, Head IT Risk Management & Security, Swiss Life Group
Vicky Kubitscheck, Head of Audit, Risk & Compliance, AEGON UK
Book before Friday 9th March 2007 & Receive a FREE Camcorder
Supporting Associations
Media Partners

Briefing Day: Audit & Compliance Under Basel II
Monday 14th May 2007
It is estimated that banks world-wide are going to spend around 50 billion dollars implementing Basel II,
mainly by introducing huge new systems, new infrastructure and armies of new risk managers to help
monitor and manage risk. Since the more definitive division of active risk management has come from
internal audit over recent years, it is important that internal auditors are clear about the critical role they
need to play in all of the current frenetic activity. This intensive briefing day brings together internal audit
and risk experts who will share their direct experiences of Basel II implementation with you.
Facilitated by:
Hesham M. Hamdy, General Manager, Head of Risk Management Sector, Bank of Alexandria SANPAOLO
Paul Brennan, Internal Audit Manager, Anglo Irish Bank
Clive Novis, Head of IT Audit, Investec Plc
Andy Dunn, Chief Auditor - Group Functions & Treasury, Alliance & Leicester
Summit Agenda
08.30 Registration & Coffee
09.00 Chairman’s Opening & Group Introductions
09.15 Reviewing the Implementation of Basel II and its Implications
for the Audit Function
• Assessing the requirements of Basel II – what needs to change?
• Governance of the implementation process
• Educating business management
• Preparing the supervisory audit
10.00 Putting Together an Internal Audit Programme under Basel II
• Internal Audit’s overall role
• Risk based analysis of Basel II compliance
• Internal audit policy
• Benchmarking implementation
• Minimum qualitative standards
• Governance structures
• Expert review of advanced approach models
(AMA, IRB, Market Risk)
• FSA’s approach to internal audit involvement
10.45 Morning Coffee
11.15 CASE STUDY Internal Audit and Operational Risk in a Basel II
Environment
• Operational risk under Basel II
• Providing assurance over operational risk
• Internal Audit & Operational Risk - Working together
• Auditing operational risk governance and the Operational Risk
function
Andy Dunn, Chief Auditor - Group Functions & Treasury,
Alliance & Leicester
12.00 CASE STUDY Strengthening Internal Controls To Reduce
Operational Risk
• Understanding the importance and impact of internal controls
in ORM
• Making sure the internal and external audit functions totally
understand ORM requirements and execute them correctly
• Learning from successful practices to enhance your internal
controlling ability
• Exploring the difference between operational risk and
internal audit
Hesham M. Hamdy, General Manager, Head of Risk
Management Sector, Bank of Alexandria SANPAOLO
12.45 Lunch
14.00 Managing Credit and Market Risk under Basel II
• Clarifying the Basel II requirements for market and credit risk
management
• Understanding the types of risks involved
• Devising an audit programme
14.45 Basel II Implementation and Compliance by a Leading Bank
• Key implementation issues to tackle
• How have risk management and measurement techniques
adapted to Basel II?
15.30 Afternoon Tea
15.50 CASE STUDY Understanding What Impact Basel II will Have on
Information Security Controls
You will gain an understanding of how Basel II impacts operational
risk from an IT perspective. The speaker will explore various
reasons why Financial Institutions may not be geared to comply
with Basel II requirements and suggest practical action points to
enable compliance.
• How does Basel II impact operational risk and therefore
information security
• Reasons why financial institutions may not be geared to comply
with Basel II
• Practical actions which should be taken to enable compliance
Clive Novis, Head of IT Audit, Investec Plc
16.30 PANEL SESSION Managing Basel II Implementation from the
Auditor’s Perspective
• What is the role of auditors under Basel II?
• Monitoring and auditing market, credit and operational risk on a
day to day basis
• The Supervisory Audit – what needs to be done?
• Making the most of technology
Paul Brennan, Internal Audit Manager, Anglo Irish Bank
Hesham M. Hamdy, General Manager, Head of Risk
Management Sector, Bank of Alexandria SANPAOLO
Clive Novis, Head of IT Audit, Investec Plc
Andy Dunn, Chief Auditor - Group Functions & Treasury,
Alliance & Leicester
17.10 Close of Day
To Register Call +44 (0) 20 779 8944, Fax +44 (0) 20 7779 8293,
Email: mis@mistieurope.com
or Visit www.mistieurope.com/bankaudit

Auditing Financial Institutions Day One
Tuesday 15th May 2007
Day One Agenda
08.30 Registration & Coffee
09.00 Chairman’s Opening Remarks
Graham J. Ayre, Head of UK Internal Audit, Lincoln Financial Group
Graham Ayre is Head of the Internal Audit function for the Lincoln Financial Group companies based in the UK, a group that includes Lincoln Assurance Limited, Lincoln Investment Management Limited and Lincoln Unit Trust Managers Limited. Amongst my other responsibilities, he
has been part of a small team of staff responsible for implementing an enhanced risk assessment process throughout the companies and determining how the companies could best satisfy the requirements of the FSA’s regulatory regime. He has also served on the team responsible
for assessing the implications of the Sarbanes-Oxley Act on the Lincoln companies in the UK and what needed to be done to comply with them (NB. The Lincoln companies in the UK are owned by Lincoln National Corporation - a quoted US company which was an accelerated filer).
09.10 Meeting Audit Committee Expectations
• Integration of internal audit in overall risk management framework
• Business knowledge/challenging approach
• Internal audit planning & reporting
• Regulatory change
• Adherence to IIA Standards
Ian Gregory, Deputy General Manager & Head of Internal Audit, Sumitomo Mitsui Banking Corporation Europe
Ian has over twenty-five years experience in Internal Audit and Compliance. He is currently Head of Internal Audit at Sumitomo Mitsui Banking Corporation Europe and is responsible for a team of 10 auditors. Prior to joining Sumitomo he was Head of Internal
Audit for Barclays Private Bank for 5 years and before joining Barclays was Head of Audit at a private Swiss Bank based in London. He started his career in audit with JP Morgan then called Morgan Guaranty. Ian is a Fellow of the Institute of Internal Auditors and
an Associate of the Chartered Institute of Bankers. He is also currently a member of the Banking and Financial Services Internal Audit Group management committee and was a Director of the Institute of Internal Auditors - UK and Ireland.
09.50 CASE STUDY Effectiveness of Internal Audit - Are We Measuring the Wrong Things?
This session aims to discuss some of the flaws in the current definition and limitations of the standard measures of effectiveness of internal audit, and what internal auditors
should focus on to develop and improve their effectiveness in their organisation.
• Defining effectiveness of internal audit goes beyond the audit department • What does an organisation with an effective internal audit function looks like?
• What influences the effectiveness of an auditor and the internal audit department? • Measuring effectiveness and being effective in the real world
Vicky Kubitscheck, Head of Audit, Risk & Compliance, AEGON UK
10.20 CASE STUDY Changing an International Internal Audit Function
Neil Lockhart, Head of Audit Wealth Management & Financial Products, SEB. Paul Marshall, Managing Director, Protiviti*
11.00 Morning Coffee
11.20 CASE STUDY Auditing Outsourced Operations: Measuring Risk of Security & Reputation
• Risk assessing service providers
• Information gathering and reporting
• Determining what controls are appropriate
• Particular problem areas and how to address them
• Ongoing monitoring and governance
Hilde Øiseth Nordlid, Chief Auditor for Operational Audits, Norges Bank
12.00 Applying and Auditing the International Financial Reporting Standards
• Ensuring that your company is accurately represented to the capital markets • Tactics for challenging your auditors
• Are you providing adequate assurance to stakeholders?
• The latest audit tools & technologies
• Are you receiving the added value you expect from your external auditors? • Does a lack of preparation among analysts really matter?
Iain Coke, Head of the Financial Services Faculty, ICAEW
12.40 Lunch
Breakout 1
Regulatory Compliance in Financial Institutions
14.00 CASE STUDY Sarbanes Oxley in a Financial Services Context
Although the Sarbanes-Oxley Act is now over 4 years old, the lack of prescription in
the Act is still leading to much debate as to how it should be interpreted and what
needs to be done to comply with it. This presentation will seek to:
• Review the latest issues concerning the interpretation of the Sarbanes-Oxley Act
and the steps needed to comply with the requirements
• Cover the progress made in reviewing and amending Auditing Standard No 2
• Compare the Sarbanes-Oxley requirements with those of the FSA
• Offer a practical insight into the challenges facing a UK based financial services
company (which has needed to report under Sarbanes-Oxley since its inception).
Graham J. Ayre, Head of UK Internal Audit, Lincoln Financial Group
14.45 Session Change
14.50 CASE STUDY Impact of Basel II on Internal Audit in a Commercial Banking
Environment
• Objective of Basel II
• Method used to achieve objective
• Impact of Basel II from a banking perspective
• Expected benefits to market participants
Paul Brennan, Internal Audit Manager, Anglo Irish Bank
Paul Brennan, BBS, MSc is Internal Audit Manager at Anglo Irish Bank. His internal audit responsibilities
include Group Trading & Liquidity Management, Debt Capital Markets, Corporate Treasury Services and the
implementation of Basel II. His previous role up to January 2006 was Head of Corporate Treasury Credit
Risk Management.
Breakout 2
Compliance in Investment Management & Insurance
Investment Management
14.00 CASE STUDY Auditing Compliance
• Relative roles of compliance and internal audit in the business
• Relationship with risk management
• Compliance obligations and audit objectives
• Scope of the review
• Independence and reporting lines
Tony Kemp, Head of Compliance and Internal Audit, CCLA Investment Management
Tony has 20 years’ experience in Internal Audit including Head of Department positions in firms covering a wide range of regulated activities. He
has also been in charge of compliance for a number of years, notably for private clients at Cazenove Capital Management. Before this he was
responsible for audit and compliance for the Norwich & Peterborough Building Society Group. His career includes General Manager and Director
positions. Tony has an MBA and is a Fellow of the Chartered Institute of Management Accountants.
Insurance
14.50 CASE STUDY Implementing IT Governance by using the COBIT Maturity Model:
Challenges and Conclusions
Based on Solvency II and the fact that the quantification of operational risks is very
complex, Swiss Life Group decided to build up its IT Risk Management on the quality
of internal controls. The basis for this was the COBIT Maturity Model. This cuttingedge
case study will give you practical insights into:
• Why IT Governance is important
• Satisfying stakeholders
• How to implement and audit IT governance
• IT governance life-cycle challenges
• Case study: how to implement IT governance using the COBIT Maturity Model
• Summary and conclusions
Urs Fischer, Vice President, Head of IT Risk Management & Security, Swiss Life Group*
15.30 Afternoon Tea
16.00 CASE STUDY Will MiFID add Complexity to Audit Responsibilities?
• Internal audit’s role in checking
• Internal audit’s challenges
- organisational requirements (right risk-control functions, resources, - the complexity and level of details of MiFID
independence, reporting lines etc) - the risk of non-harmonised European approach
- monitoring processes and procedures (record keeping, best execution, - many new requirements and business approaches to adapt to
suitability & appropriateness, outsourcing etc)
Sonja Lohse, Head of Group Compliance, Nordea Bank
After finishing her law studies at the university of Helsinki in 1980, Sonja Lohse started her banking career. She has held numerous positions within the Group as a lawyer specialised in securities legislation but also as head of custody department. In the beginning of 2000 she
started to build up the compliance function in Nordea as head of Group Compliance. Sonja has been involved in several European committees around the harmonisation of European securities legislation and is currently a member of the CESR MiFID Level 3 working group.
16.45 PANEL SESSION Examining the Implications of Current and Forthcoming Regulatory Developments for Internal Auditors and their Organisations
• Basel II, PSB and the Capital Requirements Directive
• Sarbanes-Oxley
• MiFID
• Maintaining audit independence while avoiding duplication of effort
• IFRS
Graham J. Ayre, Head of UK Internal Audit, Lincoln Financial Group
Paul Brennan, Internal Audit Manager, Anglo Irish Bank
Tony Kemp, Head of Compliance and Internal Audit, CCLA Investment Management Sonja Lohse, Head of Group Compliance, Nordea Bank
17.30 Close of Day One

Auditing Financial Institutions Day Two
Wednesday 16th May 2007
* To be Confirmed
Day Two Agenda
08.30 Registration & Coffee
09.00 Chairman’s Opening Remarks
09.10 CASE STUDY Buy Control Culture Get Good Internal Controls for Free
• What is the control culture?
• How is it different to the control environment, control framework?
• How can it be harnessed?
• How can internal audit use it as its main tool?
Iraj Amiri, Head of Group Internal Audit, Schroders
Iraj Amiri is a Partner of the London Internal Audit Group of Deloitte and one of the firms recognised experts in Internal Audit
and Risk Management. For the past five years he has been on secondment with Schroders as Head of their Global Group
Internal Audit. He has held leadership positions in Internal Audit Departments in a variety of financial sector and other
institutions. He also specialises in, and has carried out quality reviews of numerous major internal audit departments
around the world, many in the financial institutions. He is a regular speaker at major internal audit conferences around the
world on topics related to Internal Audit, Internal Control, Governance, and Risk Management. Iraj has been a member of
the Internal Audit Committee of the Institute of Chartered Accountants in England and Wales for a number of years.
09.50 CASE STUDY Integration of Assurance & Risk Management
across the Organisation
• The benefits of an integrated risk management approach
• Practical steps to integration
• Stakeholders
• Skills
• Development of a risk assessment framework
• Technology required
• Integrated reporting
• Operational tasks
• Assessing the effectiveness of risk management
Clive Novis, Head of IT Audit, Investec Plc
Clive graduated from the University of Cape Town, South Africa with an Information Systems Honours degree. After
university, he worked for a ‘big 4’ auditing company in their risk management division, performing IT audits and consulting on
various forms of IT risk. Clive then joined an international outsourcing and professional services company where he consulted
on IT and project risk management. His industry experience includes healthcare, manufacturing, retail, utilities and financial
services. After heading up the IT Internal Audit function at Investec plc, Clive was appointed IT Risk Manager for the Group.
10.20 CASE STUDY The New Role of Internal Audit Function in Managing
Operational Risk
• Internal audit as a key source of challenge for operational risk
management
• What should your internal audit function do and what shouldn’t it
• The independence review of the internal audit function
• Preparing the audit programme
Luc Aerts, Program Manager, Internal Audit, KBC
Luc Aerts is Program Manager in the Internal Audit Department of KBC Group, a leading Bankassurance Group in
Belgium and Europe. Since 2004 he is responsible for the Quality Assurance & Improvement Program covering all KBC
internal audit departments (about 300 auditors in 20 countries). This group-wide Quality Assurance & Improvement
program was created after an external assessment in 2003 of the Internal Audit Departments of KBC Head Office and of
the major subsidiaries in Central Europe. Before taking on this function, he was 6 years chief auditor Financial Markets,
responsible for the coverage of all financial markets activities in KBC Group
11.00 Morning Coffee
11.20 CASE STUDY Project Risk Review
• Introducing Project Risk Review
• Project risks
• Selecting projects to be reviewed
• Planning, executing, reporting
• Closing reviews
Ben Amado, Program Director of Audit & Risk Review (ARR), Citigroup*
Ben Amado is a Program Director in Citigroup’s Audit and Risk Review (ARR) with responsibility for Technology and
Project audits of Citigroup’s Corporate and Investment Banking arm in EMEA. Ben has extensive software development,
project management, information security, and auditing experience that he gained in various roles in financial services
firms in the city such as NatWest Bank, Dresdner Kleinwort Wasserstein and NCR.
12.00 PANEL SESSION Governance & Risk Management in the 21st
Century - How Can Audit Keep Up To Speed with New Market Risks,
Models & Practices?
How can audit keep up with redefined games and credit risk models of the
market? How are you integrating and embedding risk management practices,
with personal accountability and an understanding of the financial impact of
operational risks on capital management? Hear expert commentary from
these audit practitioners.
• Integrating risk management for audit: credit, market, operational, nonfinancial
risks
• Is independence compromised by integration of risk management &
assurance providers?
• Developing key risk indicators & key control indicators in line with business needs
• Challenges of non-financial risks - corporate social responsibility,
reputational risk
• External assessment quality reviews - update on compliance realities with
IIA Standards
Iraj Amiri, Head of Group Internal Audit, Schroders
Clive Novis, Head of IT Audit, Investec Plc
Luc Aerts, Program Manager, Internal Audit, KBC
Ben Amado, Program Director of Audit & Risk Review (ARR), Citigroup
12.40 Lunch
13.45 The Hidden Risk of End User Computing
• What is the extent of the EUC problem?
• How do we discover the risks caused by EUC?
• How can we control the seemingly uncontrollable and help our
organisations minimise their EUC risk?
Roger Cooper FIIA, MIIA, QiCA, RJC Limited
Roger has over 30 years of audit experience within both the Public and Private Sectors. Having
started his audit career in the Inland Revenue, he moved into the Private Sector in 1988 as Chief
Internal Auditor of the Guardian Building Society. The challenge of computer auditing caught his
imagination in 1990 and he has specialised in that area ever since. Roger has worked as a Senior
Manager with the Lloyds TSB Group where he provided the advice and guidance that ensured that
End User Computing across the Group’s various divisions and business units was compliant with
Sarbanes Oxley legislation. He also made a significant contribution to the Group’s approach to SOX
related Business Application and General Computer Controls in addition to co-authoring the Group’s
End User Computing policy, standards and guidelines
14.25 CASE STUDY Auditing Challenges: Outsourcing, JVs, Procurement
Christopher Spackman, Head of Audit 3rd Parties,
Barclays Internal Audit*
15.10 Establishing Effective Internal Controls to Comply with AAF 01/06 & how
to Avoid Disclosure of Weaknesses
Issued by the Institute of Chartered Accountants England & Wales Audit, the
Assurance Faculty (AAF 01/06) will replace the FRAG 21 report, for periods
ending on or after 31 March 2007. This provides guidance to reporting
accountants on undertaking an assurance engagement & providing a report
in relation to internal controls of a service organisation. AAF 01/06 does not
constitute an auditing standard, but has great impact for auditing
investments. Hear exactly how to apply the guidance, as directors of all 3rd
party service organisations, including pension administrators, could have
their internal controls investigated in response.
• Testing the design & effectiveness of your controls
• Linking internal controls to your risk management framework
• Demonstrating accountability & transparency of controls
• Preparing for the new AAF 01/06 assurance report & internal controls
code of practice
• Evaluating & documenting the effectiveness of your internal controls
• What legal assistance should you seek?
• How to avoid disclosing to market
Bernard Kenny, Deloitte
15.50 Afternoon Tea
16.10 CASE STUDY Mitigating Operational Risk Through Merchant Fraud
Prevention In The Banking Industry - A BNZ Acquiring Perspective
A case study illustrating merchant liability & how the Bank of New Zealand
mitigates its risk through global risk policy.
• Bank of New Zealand’s fraud education strategy for high risk merchants:
analysing current fraud hotspots, high risk countries & scams
• Minimising non-lending losses through robust prevention methods.
• Steps to minimise credit card fraud
• Merchant requirements for securing stored data – payment card industry
data security standard
John Crookes, Operational Risk & Compliance Manager, Domestic &
International Payments, Bank of New Zealand
16.50 Do You Know if Your Organisation Is Living up to its Ethical Values?
• Compliance, culture and values
• Making ethical decisions
• Recent survey findings
• Developing ethical assurance in your own organisation
Paul Moxey, Head of Corporate Governance & Risk Management, ACCA
Paul Moxey is Head of Corporate Governance and Risk Management at ACCA contributing to
developments and thinking at committees, events and projects on corporate governance and risk
around the world. He is a qualified accountant and MBA. Formerly a company secretary and group
financial controller of a UK plc, before joining ACCA, he was corporate governance consultant.
17.30 Chairman’s Closing Remarks and Close of Conference
To Register Call +44 (0) 20 779 8944, Fax +44 (0) 20 7779 8293,
Email: mis@mistieurope.com
or Visit www.mistieurope.com/bankaudit

presents
Auditing Financial Institutions Conference 2007
14th – 16th May 2007, Hilton Docklands, London
Delivering Business Agility & Risk Assurance in Banking, Insurance & Investment Management
To keep you fully up to date with the latest audit tools and technology in the fast world of finance, MIS Training EMEA presents
this new focused conference for Audit Directors and Managers in the banking, financial services and insurance sectors. In just two
intensive days you will learn cutting-edge strategies from industry leaders on how to monitor risk, control and governance
processes across your organisation.
Highlights from the agenda include:
• Your complete regulatory round-up: ensure you are fully up to speed with the implications for internal audit
of Basel II, MiFID, Sarbanes Oxley and IFRS
• Case study experiences of how leading companies approach risk management and control
• In-depth analysis of how to overcome the challenges of auditing outsourced operations: find out what steps you should
take to measure and monitor security and reputation risks
• Expert insights on how to ensure you understand and meet the expectations of your audit committee
• Join the compliance debate: how does internal audit have to change to adapt to the new regulatory environment?
Plus, benefit from targeted tracks for the banking, insurance and investment management sectors, helping you delve deep into focused topics.
Supporting Associations
Governance
‘Governance’ is the leading international monthly newsletter on corporate governance, shareholder activism, and boardroom performance. At this time of rapid
change in the regulatory and best practice regimes, ‘Governance’ is an essential and authoritative resource of analysis and opinion for board directors, senior
executives, investment professionals and advisers. Governance Publishing, Watchfield House, Watchfield, Highbridge, Somerset, TA9 4RD
Tel: 01278 793300, Fax: 01278 783750, e-mail: info@governance.co.uk, web:www.governance.co.uk
ISACA Netherlands
ISACA has become a pace-setting global organisation for information governance, control, security & audit professionals. Its IS auditing & IS control standards are
followed by practitioners worldwide. Its research pinpoints professional issues challenging its constituents. Its Certified Information Systems Auditor (CISA)
certification is recognised globally & has been earned by more than 48,000 professionals since inception. The Certified Information Security Manager (CISM)
certification uniquely targets the information security management audience & has been earned by more than 6,000 professionals. It publishes a leading technical
journal in the information control field, the Information Systems Control Journal. It hosts a series of international conferences focusing on both technical
& managerial topics pertinent to the IS assurance, control, security & IT governance professions. Together, ISACA & its affiliated IT Governance Institute lead the
information technology control community & serve its practitioners by providing the elements needed by IT professionals in an ever-changing worldwide
environment. Members live & work in more than 140 countries & cover a variety of professional IT-related positions. ISACA has more than 170 chapters
established in over 60 countries worldwide, & those chapters provide members education, resource sharing, advocacy, professional networking & a host of other
benefits on a local level.
ORRF
The Operational Risk Research Forum (ORRF) Limited is internationally recognised as a leading risk advisory organisation. It was established, with tacit support
from the FSA, in April 1999, as an independent think-tank; its aim being to drive forward the boundaries of knowledge in the field of risk management.
ORRF has held leading-edge forum events in collaboration with the FSA, the Bank of England, BaFin, the OCC, and the New York State Banking Department,
as well as with professional bodies such as the British Bankers Association, ISDA, Institute of Actuaries, the Securities & Investment Institute, and many others.
Research by ORRF has won international acclaim. Through its association with the British Library it gives access to one of the largest collections of risk
information in the world. ORRF now provides a range of advisory services and products in the field of risk management including leading edge research,
consultancy, executive resourcing and systems. To discover more, visit www.orrf.org
Media Partners
AuditNet
AuditNet® is the premier Web portal for integrating the Internet into auditing. The site contains resources, tools and links including audit work programs,
questionnaires, checklists, audit guides, audit topical index, job listings and much more. www.auditnet.org
Compliance Monitor
Compliance Monitor filters through the mass of releases from the FSA and provides condensed highlights along with authoritative analysis and practical advice for
implementation. 10 issues per year PLUS online access with a fully searchable 7-year archive. For a FREE sample copy visit www.informafinance.com/cm or
email justine.boucher@informa.com
Compliance Reporter
Compliance Reporter is the only news-breaking source that exclusively covers compliance initiatives at broker/dealers and investment advisers, as well as
regulations and enforcement actions from entities such as the National Association of Securities Dealers, the Securities and Exchange Commission, the U.S. Court
of Appeals and state regulatory agencies. Compliance Reporter informs its readers of enforcement actions that are levied against their competitors. Knowing what
the firm down the street was fined for may help you change your strategy and avoid a similar penalty. It also keeps you up on other firms’ strategies, giving you
tips on what your peers are doing to stay on the cutting edge. For your free trial go to www.compliancereporter.com/freetrial
Fraud Intelligence
Fraud Intelligence is written by practitioners for practitioners and brings you expert guidance and practical solutions in combating fraud to your business.
10 issues per year PLUS online access with a fully searchable 7-year archive. For your FREE sample copy visit www.informafinance.com/fi or email
justine.boucher@informa.com with your full details.
Fraud Watch
Fraud Watch covers all aspects of financial fraud, including regulatory changes, card fraud and money laundering. Subscribers get access to the
www.fraudwatchonline.com site for daily online news and features. It is the essential early warning system for financial industry professionals. To subscribe call
+44 (0)1572 820088 or email subscriptions@cm-media.net
Professional Security
Professional Security Magazine is the market leader in the U.K. and is backed by the resources of a strong editorial and production team. With its roots firmly
based within the industry that it serves, Professional Security Magazine offers an online service for the security professional to access news, views and
information on the move, at home or abroad. www.professionalsecurity.co.uk
Security Park
Security Park.net is the leading online News portal for the Security industry, with over 250,000 readers every month. Security Park publishes industry & product
News on a daily basis, across the complete range of Security products & services: access control, biometrics, alarm systems, CCTV, computer / IT / network
security, mobile security, manned guarding, perimeter protection, physical security, remote monitoring & surveillance. Security Park also publishes Security case
studies, white papers & market reports, & provides a free job forum & classifieds service to security professionals. www.Security Park.co.uk
Risk UK
The UK’s premier monthly security and business continuity publication. The magazine addresses all aspects of risk that are faced by today’s business community,
assisting those responsible for the security, safety and risk management of the UK’s largest companies.
Areas covered by Risk UK are diverse, ranging from countering potential terrorist threats, through to preventing crime against the business and those within it,
detecting espionage attempts, fire prevention, health and safety, business continuity, disaster recovery, data protection, insurance, eliminating breaches in
legislation, avoiding litigation, etc. www.risk-uk.co.uk

Auditing Financial Institutions Conference 2007
14th – 16th May 2007, Hilton Docklands, London
5 Easy Ways to Register
Tel: +44 (0)20 7779 8944 Email: mis@mistieurope.com
Fax: +44 (0)20 7779 8293 Web: www.mistieurope.com/bankaudit
Mail: Guy Cooper, MIS Training, Nestor House, Playhouse Yard, London EC4V 5EX UK
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Special Offer
Book before Friday 9th March
2007 & Receive a FREE Camcorder
Registration Options
Option (please tick) Fee Early Bird Gift
Two-Day Conference & Basel II £1,595 ✔
Briefing Day (14-16 May)
Two-Day Conference Only (15 – 16 May) £1,195 ✔
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* The Free Gift applies only to registrations for the two-day conference or
more received before 9th March 2007
Special Group Savings Scheme, please phone for Details.
Registration Information
(fees must be paid in advance of the event)
The conference is taking place at:
Hilton London Docklands, 265 Rotherhithe Street, London SE16 5HW UK
Telephone: +44 (0)20 7231 1001
For further details & reduced accommodation rates please contact:
AJM Venue Finders Limited, 526 The Gate House,White Cross, South Road,
Lancaster LA1 4XQ
Tel: 01524 843813 / Fax: 01524 848 846 / TIDS No: 96-0 4595 0
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Cancellation Policy: Should a delegate be unable to attend, a substitute may
attend in his or her place. A credit card or refund, minus 10%
administration charge, is available if written notification is received by 23rd
April 2007. Thereafter, no refunds will be given. MIS reserves the right to
change or cancel this programme due to unforeseen circumstances.
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Date
Position
Fraud & Corruption Summit, 14 - 16 March 2007, Copenhagen
4th Annual CISO Executive Summit & Roundtable, 6 – 8 June 2007,
Hotel Negresco, Nice
2nd Annual Audit, Risk & Governance Conference, 17 - 20 July 2007,
East Africa
CSO Summit, 25 - 28 September 2007, Edinburgh
Audit, Risk & Governance SuperStrategies, 23 - 26 October 2007,
London
To Register Call +44 (0) 20 779 8944, Fax +44 (0) 20 7779 8293, Email: mis@mistieurope.com
or Visit www.mistieurope.com/bankaudit